Goldman Sachs Compliance Federation - Regulatory 

United States, New York, New York 

390974157

Part of the Global Compliance Division, the firm’s Federation Compliance team is a global team with responsibility for providing compliance coverage to Operations, Engineering, Controllers, Corporate Treasury, Corporate and Workplace Solutions, Executive Office, Finance, Planning and Analysis, Risk, Tax and Human Capital Management divisions. This includes:

• Conducting risk identification, measurement, and assessment
• Monitoring for compliance with laws, rules, regulations, and policies, including the identification and investigation of conduct related issues
• Participating in firm responses to regulatory examinations, audits, and inquiries
• Performing surveillance and investigations of business activities of the above-referenced Federation groups
• Testing the effectiveness of controls
• Writing policies and procedures
• Communicating regulatory requirements and firm policy expectations to educate others both one-on-one and through compliance learning initiatives

ROLE AND RESPONSIBILITIES

This role will focus on, but not be limited to, providing Compliance coverage of Operations functions with an emphasis on non-financial regulatory reporting requirements in the Americas region such as CFTC and SEC swap dealer transaction reporting. This role has a diverse scope covering all assets classes, for multiple reporting obligations for GS Legal Entities globally.

To fulfil this role, you will:

• Advise, challenge and influence Operations functions about regulations, policies, and reputational risk
• Analyze regulatory changes and enforcement actions to assess the impact to Operations, and participate in work to ensure the business is able to support applicable rules and requirements
• Support the development and analysis of related policies, standards, and processes to ensure compliance with applicable regulations and requirements
• Identify, investigate, and manage compliance issues involving Operations functions
• Provide support and guidance to Operations functions in dealing with regulators
• Brief senior leadership on risks identified and ensure stakeholder engagement
• Conduct forensic reviews to monitor compliance with regulations and firm policies
• Input into compliance risk assessments to ensure effectiveness of the firm’s compliance program
• Draft and assist in the implementation of policies and procedures
• Develop and deliver communication and training
• Investigate and liaise with internal stakeholders in relation to conduct issues
• Recommend compliance testing work to be performed
• Provide support and guidance to Operations functions in managing information barriers
• Coordinate with the broader Federation Compliance team on initiatives and projects

QUALIFICATIONS AND SKILLS

A strong candidate for Federation Compliance will satisfy some or all of the following criteria:

• At least 3 years of experience as a compliance officer or in a risk management or control function role
• Knowledge of operational practices in securities and derivatives markets
• Knowledge of regulations, practices, and markets infrastructure in the U.S
• Understanding of the global regulatory environment
• Experience working at a U.S. registered broker-dealer, swap dealer, futures commission merchant, and/or security-based swap dealer
• Experience working as a regulator, interacting with regulators, or supporting regulatory audits or inquiries

A strong candidate for Federation Compliance will possess the following skills:

• Clear, concise communications skills; able to communicate with impact at senior levels
• Able and willing to challenge; comfortable with inter-personal conflict; able to build strong professional rapport with stakeholders while maintaining independence as a risk manager
• Sound judgment, ethics, and integrity
• Fast learner; able to adapt to business and regulatory changes; interest to challenge status quo and find new solutions
• Proficient in using technology; able to analyze data sets and summarize findings; comfortable learning new technologies, both as a user and to identify risks
• Team-oriented and supportive of others’ success; comfortable representing a teamwork product to stakeholders
• Well organized with the ability to manage both longer term projects and daily, often time-sensitive, escalations